The SEC has stated that compliance staff cannot do it alone; that they should partner with industry service providers to equip them with the tools and resources they need to build strong and effective compliance programs. Compliance professionals know this intuitively and seek out reputable partners to help them meet their compliance challenges. As an exhibitor at the NRS Fall Conference, you are afforded ample time and opportunity to make that all-important initial contact with attendees and the opportunity to build an on-going relationship of trust and comfort.
Partnering with NRS means partnering with a highly recognized industry leader. As the nation’s largest and oldest independent compliance consulting and technology firm, you will have exposure to the NRS client base and extend your reach into the industry.
Various attractive sponsorship opportunities are available to exhibitors and others to enhance and highlight their involvement in, and support of, this industry-leading educational event. You can further showcase your firm by sponsoring the conference bag, the workbook, receptions and breaks or by securing a bag insert. For more information download the Exhibitor/Sponsor PDF and to discuss the best options for you, please contact your Account Executive at +1 860 435 0020.
ProxyEdge® is Broadridge's electronic proxy voting and delivery solution that helps you achieve compliance and streamline the voting process. It also allows you to manage, reconcile and report your voting history via electronic delivery of ballots and an SEC compliant report archive. With the integration of third party vote recommendations, you can achieve greater efficiency and control over the timing and method of vote execution.
As the agent for 97% of U.S. nominees, Broadridge is unique in its ability to serve you. Using ProxyEdge will help you; reduce time, paper and effort, have easy access to proxy information from your PC, satisfy SEC disclosure requirements and gain access to fully integrated vote recommendations provided by third parties.
AdvisorMail is the leading email archiving, compliance (SEC/FINRA) and discovery solution for financial services firms of all sizes. Its extensive features ensure the integrity of electronic communications, simplify the audit and discovery process, and help companies protect themselves against the risk and expense of lost or misplaced messages. AdvisorMail automatically captures, indexes, and archives all inbound, outbound and internal emails, attachments, IMs and Bloomberg. In addition, it also captures emails sent from mobile devices. Administrators and designated reviewers can monitor email and IM communications and search the archive quickly and easily as needed with an intuitive, web-based user interface and comprehensive suite of supervisory tools.
Fidessa LatentZero is a leading provider of solutions to the global asset management industry. Our products are used by over 200 customers to help asset managers generate alpha, improve trading desk returns, reduce the cost of compliance management and automate the processing of OTC derivatives.
Sentinel provides comprehensive pre-, intra- and post-trade investment compliance functionality and is the pioneer in pre-trade restriction technology. Sentinel has the fastest restriction checking speed in the marketplace, covers a wide range of global regulatory rule libraries and mandates, and enables non technical users to quickly and easily create their own rules.
Smarsh is the managed service leader in secure, innovative and reliable email archiving solutions for compliance and records retention, proactive litigation readiness, and mail server data management. The company also offers an integrated suite of technology solutions for data-leak prevention and encryption, customer relationship management and website design and hosting.
Founded in 2001, Smarsh has built its trusted reputation by handling the sophisticated archiving and compliance needs of the financial services industry. Customizable solutions fit the needs, budgets and technological infrastructure of any business and are matched with Smarsh's unrivaled customer support and service.
Starkweather & Shepley Insurance, founded in 1879, provides specialized risk coverage to the investment industry. In addition to providing Directors & Officers Liability, Errors & Omissions Liability, and ERISA/Fidelity bonds, we are a full service insurance agency which allows "one stop" shopping for all your insurance needs. This includes Business Office Package Policies, Employee Benefit Insurance, Workers Compensation and all the required coverages pertinent to financial advisors, hedge fund, mutual fund groups and Securities Broker/Dealers.
TD AMERITRADE Designated Brokerage Services (DBS) provides compliance officers the best of both worlds: nightly, automated compliance reporting for you and a TD AMERITRADE brokerage account for your employees. With TD AMERITRADE DBS the days of manually monitoring printed brokerage statements are over. Trading and position reports for your employees can be securely downloaded directly from each night and imported into your compliance software provider applications.
NSCP is the largest organization in the securities industry serving compliance professionals exclusively through education, certification (CSCP), consultation forums, regulatory advocacy and publications. Since the founding in 1987, NSCP membership has grown to include Compliance Professionals at Broker-Dealers, Investment Advisers, Bank and Insurance Firms, Law and Accounting Firms and Hedge Funds.
iNautix (USA) LLC is an affiliate of Pershing LLC (member FINRA, NYSE, SIPC) and a leading provider of enterprise solutions, custom technology development and business consulting to institutional and retail financial organizations and independent registered investment advisors. iNautix draws upon its financial services experience and technology expertise to help financial organizations enhance their operating performance and maximize the productivity of their investment professionals. Pershing LLC is a BNY Mellon company, and is committed to delivering dependable operational support, robust trading services, flexible technology, an expansive array of investment solutions, practice management support and service excellence.
Schwab Designated Brokerage Services, a segment of Charles Schwab & Co., Inc. (Member SIPC), the registered broker-dealer, is committed to meeting the high standards that corporate compliance departments expect. With more than 15 years of experience and a roster of over 400 corporate clients, we are a market leader in providing employee trade surveillance technology to financial firms. We offer comprehensive, cost-saving solutions that can reduce the manual processes and mitigate the risk associated with companies monitoring employee securities trading. Our trade surveillance technology solutions include Trade Rules, a ground-breaking web-based application that can proactively block restricted trades that are not compliant with your firm's employee trade monitoring policy. Plus, with Schwab, your employees have access to a full suite of investment products and services to help them achieve their financial goals.
To learn more, call 1-877-589-4276 or visit designatedbrokerage.schwab.com today.
Founded in 1983, NRS offers consulting, education and technology solutions that provide compliance and registration products and services for Investment Advisers, Broker-Dealers, Hedge Funds, Investment Companies and Insurance Companies. NRS consultants register start-up firms and provide on-going compliance consulting services. Our industry-leading education program offers a full selection of online and live events to provide training opportunities and keep compliance officers and top management apprised of the latest regulatory issues. NRS technology products provide the tools and resources to automate business practices that enable quicker and more efficient compliance efforts. This three-cornered approach of consulting, education and technology provides a comprehensive suite of compliance solutions our customers rely on to create a culture of compliance for their businesses.